Wayne Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$14,716,130
Clients
15
Advisors
2
of 2 employees
About
Wayne Financial LLC provides discretionary portfolio management and financial planning to individuals, high‑net‑worth individuals, and charitable organizations, managing approximately $15.96 million across about 15 client relationships with two advisory personnel. Services include preparing Investment Policy Statements, ongoing portfolio monitoring, and client‑requested restrictions; the firm also conducts insurance sales and offers fixed annuity products as a licensed insurance agency.
The firm’s investment approach emphasizes equity and ETF allocations with a long‑term trading orientation and uses a mix of charting, cyclical, fundamental, quantitative analysis and modern portfolio theory to construct and monitor portfolios. Wayne Financial generally seeks discretionary trading authority, documents clients’ risk tolerances in IPSs, and requires that client accounts be maintained at Schwab Institutional.
Notable for a firm of this size, Wayne Financial is licensed as an insurance agency and receives commission compensation for insurance sales, and it discloses relationships with independent marketing organizations that provide marketing support and other benefits separate from advisory fees. The brochure describes a small, concentrated client roster (implying roughly $1 million of AUM per client) and a recently formed, boutique practice model, and it outlines policies intended to disclose and manage the conflicts that arise from dual advisory and insurance activities.
Client services
Expertise
Fee options
$1 - $1,000,000: 1.20% annually (Traditional Strategy) $1,000,001 - $5,000,000: 0.90% annually (Traditional Strategy) $5,000,001+: 0.60% annually (Traditional Strategy) $1 - $1,000,000: 1.50% annually (Flagship Strategy) $1,000,001 - $5,000,000: 1.00% annually (Flagship Strategy) $5,000,001+: 0.50% annually (Flagship Strategy)
Insurance commissions earned from sales of insurance products, separate from advisory fees.
Hourly financial planning fees negotiated between $0 and $500 per hour.
Main office
North Bend OH
Advisors at this office
2
Most active in
Ohio
Also doing business as
Wayne Financial · Wayne Financial LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Advisors at this firm
Carly W
Series 65
North Bend, OH
Wayne Financial LLC
Carly Wayne is a Series 65-credentialed financial advisor at Wayne Financial LLC with one year of industry experience. Prior to joining Wayne Financial, she worked for six years at SocialCoaster Inc. d/b/a BVIRAL and three years at Jonathan's Grille. Wayne Financial LLC offers discretionary portfolio management and financial planning services to individuals, high-net-worth individuals, and charitable organizations. The firm manages approximately $16 million in assets using an investment approach that integrates equity and ETF allocations with multiple forms of analysis, maintaining client accounts primarily at Schwab Institutional.
Garrett W
Series 65
North Bend, OH
Wayne Financial LLC
Garrett Wayne is a financial advisor at Wayne Financial LLC with six years of industry experience. He holds a Series 65 designation and previously worked at The Randolph Company and the University of Cincinnati. Wayne Financial LLC provides discretionary portfolio management and financial planning services to individuals, high-net-worth clients, and charitable organizations. The firm employs a multi-method investment approach with a focus on long-term trading and offers client risk tolerance documentation, monthly account reviews, and custodial reporting through Schwab Institutional.
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